Guide to Completing the Sponsored Projects Transmittal Sheet
Sponsored Projects Transmittal Sheet
(Trans 08/2015 Doc) The control sheet used for the routing of research and sponsored program proposals, grants, contracts and agreements, and the recording of university approvals for all such activities.
The form is a 3-page form with information requested on all pages. When submitting the initial proposal, complete all information requested.
For additional submittal(s), e.g., revised proposals, or modifications, complete only new or revised information.
Administrative Information - Right Column
Sponsor Due Date
Date submission due to sponsor. State actual date due at sponsor location or postmark due date.
Shipping Responsibility
Unit assuming responsibility for submission/transmission to the sponsor.
Department Contact
Give name and phone number of individual for PreAward Services and/or Sponsored Projects Accounting to call if there are questions.
Type of Submission
Enter type of submission. Type of submission is either proposal, proposed award, award, or modification.
Proposal
An initial offer of exchange made to a prospective sponsor, e.g., application, quote or budget, letter, memorandum of agreement, contract or the like, regardless of format or whether it is unsolicited or in response to a sponsor request. Check one of the following:
Initial
First proposal for a particular project to a sponsor.
Competitive Renewal
Current awarded project but proposal required to continue project beyond initial project period. Renewal contingent upon strength of proposal and/or availability of funds (competitive).
Non-Competitive Continuation
Project awarded but proposal (new budget and/or progress report, etc.) required to continue beyond a period of time. Continuation expected (non-competitive).
Revised
A revision to an existing proposal to the same sponsor, e.g., budget revision, additional information requested by the sponsor. Check budget or other as appropriate.
Proposed Award
Grant, Contract or Agreement not yet signed by sponsor.
Award
A notification of award in response to a proposal signed by the sponsor. Indicate First Time or Renewal/Continuation.
First Time
Notification of award in response to the initial proposal. Also may include awards for continuing projects where sponsor has indicated that the issuance of a renewal or continuation award is not feasible.
Renewal/Continuation
Authorization for continued support in response to a renewal or a continuation proposal.
Modification
A change to current contractual parameters of a project requiring documentation from or to sponsor. Note: Change is not in effect until notification of acceptance has been received from Sponsor, and accepted by University. Check the following as applicable (more than one may apply).
Period
Change in current budget or project period.
Budget
An increase or decrease in funding, or alteration of previously approved budget (i.e. budget revision).
PI
Change in Principal Investigator/Project Director.
Other
Any modification other than period, budget, or change in PI, e.g., scope of work.
Indicate whether current action is:
Proposed
or
Approved
After checking type of submission, enter Proposal Number or FIS Number according to the letter indicated. P = proposal and F = FIS.
Note: PreAward will provide proposal number after initial submission. Example of format is as follows: F= Alpha-Alpha ####.
PI Administrative Oversight
Indicate appropriate administrative unit
University
Not one of the units below
AES
Agricultural Experiment Station
ERGP
Engineering Research and Graduate Programs
Global Campus
Cooperative Extension
Activity
Type of activity of the project. Select one of the following.
Research
Systematic inquiry or investigation to discover or revise knowledge, theories, or applications.
Indicate percent for basic, applied, or development, or allocate as appropriate if research activity is split. If development is indicated as the activity, then further indicate if the activity involves a human clinical trial by checking the clinical trial box.
Basic
Attempt to create new knowledge, procedures or information.
Applied
Using known knowledge and procedures to solve a practical problem, or to meet a specific, recognized need.
Development
The systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes.
Instruction/Training
Involving instructional course work or training classes/workshops, where KSU credit is offered.
Equipment
Purchase of equipment.
Facilities/Construction
Building, installing or renovating a structure.
Public Service
Service rendered to the general public.
Other
Activities not described above.
Source of Funds
Type of funds used for funding the sponsored project. Note that in some cases the source of funds may not be the same type of agency as the sponsor, e.g., a state agency sponsoring a project with federal flow-down monies, in which case, source is federal. Also, note that project may be sponsored by more than one source. Select one or more of the sources listed.
Area/Local Government
State Government
Federal Government
Private (for profit)
Private (non-profit)
Project Information - Left Column
1.
Principal Investigator/Co-PIs
(List PI First) Last name, first name and middle initial of individual(s) directing project. Investigators with split appointments should use multiple lines to reflect percentage split of project participation between each appointing department, as applicable.
Department
Department in which the PI/Co-PI(s) hold appointment(s). Please use the FIS alpha designation for each department listed. Indicate department responsible for accounting by placing an asterisk after department name. If multiple departments are indicated as accounting departments, then prepare multiple internal budgets indicating the agreed upon budget allocation. It should be noted that separate accounts are not required for a faculty member and their department(s) to get “expenditure credit”.
E%
Indicates the desired credit distribution for each investigator based on investigator’s contribution to the overall project effort, to be applied to fiscal year award dollars, project expenditures, and incentive returns as applicable.
Lined space is provided for several investigators. However, be sure to list all investigators and their respective department(s) with PI listed first. Place an asterisk beside department(s) responsible for accounting. Note: Separate budgets are required when more than one department is maintaining an account. Continuation page(s) may be used.
2.
Project Title
List the title of project.
3.
Source of Support
Name, address and FEIN of Sponsor. Note FEIN is required for private sponsors only.
4.
Term and Amount Requested/Funded
Refers to initial, modified or next budget period, as well as entire cumulative project period and associated funding amount by each source of funding support. Complete when submitting an initial proposal or revising the budget of an initial proposal, when submitting a proposal for the next budget or project period, upon award of the proposal, and upon modification of the overall budget.
TERM
Consists of two sets of dates:
From_____To_____(Dates of initial, modified or next period)
Date of the initial period, the modified term, or the next period of a proposal or award. Next period is contingent upon an interim proposal, e.g., competitive renewal or non-competitive continuation.
From_____To_____(Date of entire period)
Beginning and ending date of the entire proposal or award project period. Entire project period could equal initial period for single year activities.
Dates are to be entered as follows: MM/DD/YYYY
AMOUNT REQUESTED (proposed)/FUNDED (awarded)
is broken down by project periods and by sources of support. The columns
Initial, mod, or next and total
are the amounts per period (as described under TERM above). The sources of support are the various entities providing funding for the project. The project may be funded by: sponsor only, sponsor and KSU, sponsor and other external party, or all three.
Sponsor Support Requested
Source to whom the proposal is submitted or by whom award is made.
KSU Share of Costs
Costs in support of the project borne by KSU, e.g., monetized value of faculty time/effort committed to project (including associated value of fringe benefits), hard dollar matches provided by university units, etc., in addition to the Facilities and Administrative Cost (F&A) applicable to the direct cost committed as cost share, calculated at the current federally negotiated rate, as well as any cost shared F&A, if applicable.
Other Funding Support (external)
Source other than sponsor or KSU providing funds in support of the project. Letters of commitment from external source certifying the availability of external cost sharing commitments is required at the time proposal is being processed.
Total Project Costs
Total funding support by all sources.
Under each source is listed:
Direct and Facilities & Administrative (F&A), and for KSU Share, Cost Shared F&A, and Total Costs.
Direct
Costs directly chargeable to the project. Allowable direct costs may vary by sponsor; refer to sponsor's guidelines.
Facilities & Administrative (F&A)
Usually refers to overhead costs, e.g., department and central project administration services, electricity, building maintenance and upkeep, depreciation, etc.
Cost Shared F&A Costs
That portion of KSU's facilities and administrative expenses (negotiated F&A rate) not paid by the sponsor. This exception must be published in standard sponsor guidelines. Prior approvals for other than full recovery of F&A must be obtained or have been previously approved prior to submission of proposal.
While some sponsors may not fund certain direct or F&A costs, they may allow them to be shown as matching or cost sharing by KSU. Again, refer to sponsor guidelines.
Total
sum of direct and F&A costs from all sources. Press tab, or enter, and totals will be calculated automatically in each total block of sections a, b, and c. By pressing tab or enter in section d, each line will be totaled automatically.
5.
Internal Matching Fund Sources
Costs (excluding state budgeted salaries and fringe benefits) funded by KSU. Signature of the individual authorizing and committing funds is required. The amount of funds committed by each individual as well as the unit providing them should be stated, along with the source of funds (S = State or F = Federal). The use of this section satisfies the requirement for a letter of commitment. Additional details regarding the match commitment by year should be added to the "6. Additional Notes" section as appropriate.
6.
Additional Notes
Add information regarding the project that will be helpful to document the file or inform those performing the eSign process.
7. - 10.
Special Approvals
Check "yes" or "no" for each statement. For those checked "yes" in sections 7, 8, or 10, signature of the official noted in parenthesis is required. Items in sections 8-10 require a response when submitting the initial proposal only, unless the status of the initial response changes with subsequent submissions. Respond to items in section 7 when submitting an initial proposal and again upon award if the requirement changes. Items in section 9 that are marked "No" may require further action depending upon the specific project or award. Note: PreAward Services will assist in retrieving signatures.
Please pay close attention to the assurances that are located in the signature area. These assurances contain some additional certifications as a result of the university conflict of interest policy, and the requirements regarding the disclosure of intellectual property contained in various federal documents, along with other sponsor and/or university requirements.
